Michelle Ross

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Michelle Ross

Michelle J. Ross

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Biography

Temple University - Economics

Chief Compliance Officer at Lombard International (USA)
Financial Services
Michelle J.
Ross
Greater Philadelphia Area
Strong visionary and strategic thinking executive

EXPERTISE
• Regulatory Requirements
(SEC, FINRA, NAIC, BSA, USA PATRIOT Act, OFAC, FATF, FinCEN,
AICPA, PCAOB, MSRB, HIPAA, OCC, CFPB)
• Compliance Program Supervisory and Control Process Review and Certification
(market conduct and 2nd line of defense reviews)
• Regulatory Filings
• Elements of an Effective Compliance Program
• Education, Awareness and Training
• Leadership and Coaching

FINRA Series 24, 7, 26, 6, 65, 63, 79, 99

EXPERIENCE
• Conduct risk assessments - identify and address strengths, weaknesses, opportunities and threats
• Develop, disseminate, implement, test and update policies and procedures that meet requirements of applicable laws
• Audit and monitor systems and controls; collaborate with owners on investigations; ensure matters are detected and handled effectively and promptly; escalate, resolve, mitigate and prevent issues; evaluate metrics to ensure a robust, effective compliance program; analyze trends, report results and provide guidance on compliance to the appropriate governing body
• Keep informed of pending industry and regulatory changes, trends and best practices and assess the impact
• Demonstrate functional expertise in compliance (emphasis on investment adviser and broker dealer regulations)
• Facilitate and respond to regulatory examinations, filings, inquiries and requests
• Provide leadership and build strong relationships throughout geographically dispersed organizations to align behavior and values and foster appropriate compliance culture and risk appetite – through executive management
• Design and deliver engaging and effective training and education sessions and communications - topics include the application of regulatory compliance requirements to job functions, policies and procedures, code of conduct, compliance and ethics, economic environment and investing, diversity and inclusion, soft skills

Experience

  • Temple University

    Adjunct Professor

    Inve$ting for the Future (EE0822) - quantitative literacy course

    STATEMENT OF TEACHING PHILOSOPHY
    Teaching can be described as providing the right answers and facilitating as providing the right questions. When I find myself in front of an audience, I hesitate when trying to describe or define what I am doing. Is it teaching? Is it facilitating? I “faciliteach.” With each opportunity, my goals are to provide information, guide thinking and learn. In order to accomplish these objectives I have to be prepared, be engaging and be even better the next time.
    Whether discussing technical content or soft skills, whether my audience is a group of colleagues or college students, I methodically review and prepare to help the presentation flow and keep it fresh and relevant. To engage my audience, I vary the approach throughout each session. I use open ended questions, humor, repetition, group work, audio-visual tools, peer teaching, research, hands-on learning and real life application. Following each experience, as leader or participant, I reflect, to determine what worked, what didn’t work, what the learning outcomes were and what could be better. I use the answers to those questions to enhance the next opportunity. I am passionate about this activity and feel revitalized each time I do it.

  • Curtis Securities, LLC

    Chief Compliance Officer

    Michelle worked at Curtis Securities, LLC as a Chief Compliance Officer

  • Lombard International (USA)

    Chief Compliance Officer

    Responsible for insurance, broker-dealer, anti-money laundering and risk framework compliance programs plus global compliance collaboration.

    Lombard International is recognized as a thought leader in global wealth structuring using life assurance and seeks to create a secure future for clients addressing their complex financial needs on a global basis. We have been partnering with the advisors of high net worth individuals and institutions for over 25 years.

  • Santander Bank, N.A.

    Vice President, Compliance Training Director

    Manage, direct, evaluate and measure the quality, impact and effectiveness of compliance training programs. Collaborate with executive management, business units, human resources and information technology to meet business needs by addressing risk effectively and providing operational efficiency. Support regulatory exams and audits.

  • ParenteBeard Wealth Management, LLC

    Chief Compliance Officer

    Michelle worked at ParenteBeard Wealth Management, LLC as a Chief Compliance Officer

Education

  • University of Virginia

    BA

    Mathematics

  • La Salle University

    MBA

    Management

Positions

  • 1926 Foundation Inc.

    Board Member

  • 1926 Foundation Inc.

    Board Member

  • Enon Tabernacle Baptist Church

    class facilitator

  • 1926 Foundation Inc.

    Board Member

  • Enon Tabernacle Baptist Church

    class facilitator

  • 1926 Foundation Inc.

    Board Member

  • Enon Tabernacle Baptist Church

    class facilitator

  • 1926 Foundation Inc.

    Board Member

  • Enon Tabernacle Baptist Church

    class facilitator

  • 1926 Foundation Inc.

    Board Member

  • Enon Tabernacle Baptist Church

    class facilitator

  • 1926 Foundation Inc.

    Board Member

  • Enon Tabernacle Baptist Church

    class facilitator

ECE 0822

2.7(5)

  • Level:
  • Credit hours: 0

EE 0822

3.8(2)

  • Level:
  • Credit hours: 0
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